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Job Description The Deputy of Compliance Technology position requires knowledge and ... commodities regulatory reporting obligations. Provide compliance guidance and input regarding business ... and tested as appropriate in compliance..
... for a motivated and talented compliance officer who is familiar with securities ... strong experience in state and federal regulations pertaining to Registered Investment ... regulations is preferred. Responsibilities:..
... for a motivated and talented compliance officer who is familiar with securities ... back office functions. Responsibilities: The Compliance Officer – Special Products and Back ... stock lending and..
... and commodities, and experience with compliance, internal controls and risk management. ... and risk management. Responsibilities The Compliance Officer’s primary focus will be to: ... focus will be to:..
The CMO Compliance Manager will have primary responsibility ... of critical programs in the compliance office of the department of ... and, where appropriate, implementing all federal and state regulatory..
... seeks a motivated and talented compliance officer familiar with electronic trading processes ... will be the firm’s lead compliance officer in key areas, including the ... each of these..
